ORD 2011-03TOWN OF TROPHY CLUB, TEXAS
ORDINANCE 2011 - 03
AN ORDINANCE OF THE TOWN OF TROPHY CLUB, TEXAS,
AMENDING THE CODE OF ORDINANCES OF THE TOWN OF TROPHY
CLUB BY ADDING ARTICLE XVII ENTITLED "CODE OF ETHICS AND
CONDUCT" TO CHAPTER 1 ENTITLED "ADMINISTRATION' OF THE
CODE OF ORDINANCES; PROVIDING FOR THE INCORPORATION OF
PREMISES; PROVIDING FOR AN AMENDMENT ADOPTING AN
ETHICS POLICY, ESTABLISHING AN ETHICS COMMISSION AND
PROVIDING FOR DISPOSITION OF ALLEGED VIOLATIONS;
PROVIDING A CUMULATIVE REPEALER CLAUSE; PROVIDING FOR
SEVERABILITY; PROVIDING FOR ENGROSSMENT AND
ENROLLMENT; AND PROVIDING AN EFFECTIVE DATE.
WHEREAS, the Town of Trophy Club, Texas is a Home Rule Town acting under
its Charter adopted by the electorate pursuant to Article Xl, Section 5 of the Texas
Constitution and Chapter 9 of the Local Government Code; and
WHEREAS, at a Special Election held in accordance with Ordinance 2009-07,
within the Town of Trophy Club, Texas, on the 9th day of May, 2009, more than a
majority of the duly qualified resident electors of the Town of Trophy Club, voting in the
Special Election, voted in favor of the approval and adoption of various amendments to
the Home Rule Charter for the Town of Trophy Club, Texas; and
WHEREAS, on the 18th day of May, 2009, the Town Council of the Town of
Trophy Club adopted Ordinance 2009-12 canvassing the returns of the Special Election
and declaring that the Charter had been so amended in accordance with the official
results of the Special Election and the Order of the Special Election, and thereby
approved and adopted amendments to the Home -Rule Charter of the Town of Trophy
Club; and
WHEREAS, a Code of Ethics and Conduct, and an Ethics Commission
amendment were included in Ordinance 2009-07 and Ordinance 2009-12; and
WHEREAS, the Code of Ethics and Conduct, and Ethics Commission
amendment requires an ethics and conduct ordinance be adopted by the Town Council;
and
WHEREAS, the Code of Ethics and Conduct, and Ethics Commission
amendment requires an ethics and conduct ordinance be applicable to elected officers,
appointed boards, commissions, committee members, and employees of the Town; and
WHEREAS, the Code of Ethics and Conduct, and Ethics Commission
amendment requires establishment of an independent Ethics Commission; and
ORD 2011-03 Page 1 of 19
WHEREAS, statutory provisions governing the ethical conduct of public officials
and employees are found in various codes including the Texas Local Government
Code, Texas Government Code and the Texas Penal Code; and
WHEREAS, the conduct of the public business should be accomplished by Town
Officials, appointees and employees that have no personal financial interest in such
business clearly separate from that of the general public; and
WHEREAS, it is important that Town Officials, candidates, appointees and
employees be provided with a process and procedure to give notice and to then refrain
from participation in any specific business of the Town in which such Official has a
personal financial interest different from that of the general public; and
WHEREAS, a reasonable ethics ordinance with disclosure requirements will
provide a basis for continuing public confidence in the conduct of the business and
affairs of the Town;
NOW, THEREFORE, BE IT ORDAINED BY THE TOWN COUNCIL OF THE
TOWN OF TROPHY CLUB, TEXAS, THAT:
SECTION 1.
INCORPORATION OF PREMISES
The above and foregoing premises are true and correct and are incorporated
herein and made a part hereof for all purposes.
SECTION 2.
AMENDMENT — ADOPTION OF ARTICLE XVII OF CHAPTER 1
2.01 Article XVII entitled "Code of Ethics and Conduct' of Chapter 1, entitled
"Administration" of the Code of Ordinances of the Town of Trophy Club is hereby
adopted and shall read in its entirety as follows:
"SECTION 17.01. POLICY/ APPLICABILITY
A. Policy. It is hereby declared to be the policy of the Town that the proper operation
of democratic government requires that Town Officials, Candidates, Appointees, and
Employees be independent, impartial and responsible to the people of the Town;
that governmental decisions and policy be made in the proper channels of the
governmental structure; that no Town Official, Candidate, Appointee, or Employee
have any interest, financial or otherwise, direct or indirect, or engage in any
business, transaction or professional activity or incur any obligation of any nature
which is in conflict with the proper discharge of his duties in the public interest; that
public office and public employment are positions of public trust imposing the duty of
a fiduciary upon all employees and officeholders, who are not to use their public
ORD 2011-03 Page 2 of 19
position for personal gain; and that the public should have confidence in the integrity
of its government.
B. Applicability. To implement this policy, the Town Council enacts this Code of
Ethics and Conduct for all Town Officials, Candidates, Appointees and Employees,
whether elected or appointed, paid or unpaid, to serve not only as a guide for official
conduct of the Town's public servants, but also as a basis for discipline for those
who refuse to abide by its terms. The provisions of this Article shall not apply to
political contributions, loans, expenditures, reports or regulation of political
campaigns, or the conduct of Candidates in such campaigns, except as expressly
provided herein.
17.02. PRINCIPLES OF CONDUCT
A. Values. The Town Council further believes that Town Officials, Candidates,
Appointees and Employees require a public trust and should recognize the
importance of high ethical standards within the organization they lead or support.
Essential values and ethical behaviors that Town officials, Candidates, Appointees
and Employees should exemplify include the following:
1. Commitment beyond self.
2. Obedience and commitment beyond the law.
3. Commitment to the public good.
4. Respect for the value and dignity of all individuals.
5. Accountability to the public.
6. Truthfulness.
7. Fairness.
8. Responsible application of resources.
B. Conduct. In keeping with the values set forth in Section 17.02(A) and to assist in
the fulfillment of responsibilities to the individuals and communities served, each
Town Official, Candidate, Appointee and Employee should:
1. Conduct himself and operate with integrity and in a manner that merits the trust
and support of the public.
2. Uphold all applicable laws and regulations, going beyond the letter of the law to
protect and/or enhance the Town's ability to accomplish its mission.
ORD 2011-03 Page 3 of 19
3. Treat others with respect, doing for and to others what the Town official,
candidate, appointee or employee would have done for and to himself in similar
circumstances.
4. Be a responsible steward of the taxpayer resources.
5. Take no actions that could benefit the Town Official, Candidate, Appointee or
Employee personally at the unwarranted expense of the Town, avoiding even the
appearance of a conflict of interest, and exercise prudence and good judgment at
all times.
6. Carefully consider the public perception of personal and professional actions and
the effect such actions could have, positively or negatively, on the Town's
reputation both in the community and elsewhere.
7. Strive for personal and professional growth to improve effectiveness as an
elected or appointed Town official, candidate, appointee or employee.
C. Interpretation. Section 17.02 is a statement of principles only. Nothing in this
section may be used to create a cause of action against an elected or appointed
Town Official, Candidate, Appointee or Employee under this Article.
17.03. DEFINITIONS
A. Appointee. A person appointed or confirmed by the Mayor or Town Council;
provided however for the purposes of this definition, the term "appointee" does not
include Municipal Judges.
B. Business Entity. A corporation, partnership, sole proprietorship, firm, enterprise,
franchise, association, organization, self-employed individual, holding company, joint
stock company, receivership, trust, or any other entity recognized by law. .
C. Candidate. A person who declares for or files for any office of the Town to be filled
by election.
D. Clear and Convincing Evidence. Evidence that is legally and factually sufficient
such that a fact -finder could reasonably form a firm belief or conviction that the
allegation is true.
E. Compensation. Any economic benefit received in return for labor, services,
property, or investment.
F. Economic Benefit. Any money, real or personal property, purchase, sale, lease,
contract, option, credit, loan, discount, service, or other tangible or intangible thing of
value, whether similar or dissimilar to those enumerated.
ORD 2011-03 Page 4 of 19
G. Employee. A person employed by the Town, including those individuals on a part-
time basis, excluding independent contractors.
H. Family Member(s). A person related to a Town Official, Candidate, Appointee, or
Employee in the first degree by consanguinity (blood) or affinity (marriage) as
determined under the Texas Government Code.
I. Gift. A favor, hospitality, or economic benefit other than compensation but which
does not include campaign contributions reported as required by State law, gifts
received from a relative if given on account of kinship, or any value received by will,
intestate succession, or as a distribution from an inter vivos or testamentary trust
established by a spouse or ancestor.
J. Income. Economic benefit received.
K. Intentionally. A person acts intentionally, or with intent, with respect to the nature
of his conduct or to a result of his conduct when it is his conscious objective or
desire to engage in the conduct or cause the result.
L. Knowingly. A person acts knowingly, or with knowledge, with respect to the nature
of his conduct or to circumstances surrounding his conduct when he is aware of the
nature of his conduct or that the circumstances exist. A person acts knowingly, or
with knowledge, with respect to a result of his conduct when he is aware that his
conduct is reasonably certain to cause the result.
M. Substantial Interest.
1. A person has a substantial interest in a Business Entity if:
a. The interest is ownership of ten percent or more of the voting stock or shares
of the business entity or ownership of either ten percent or more or $5,000.00
or more of the fair market value of the business entity; or
b. Funds received by the person from the business entity exceed ten percent of
the person's gross income for the previous year; or
c. The person holds a position of member of the board of directors or other
governing board of the business entity; or
d. The person serves as an elected officer of the business entity; or
e. The person is an employee of the business entity; or
f. The person is a creditor, debtor or guarantor of the business entity in the
amount of $5,000.00 or more; or
ORD 2011-03 Page 5 of 19
g. Property of the person has been pledged to the business entity or is subject
to a lien in favor of the business entity in the amount of $5,000.00 or more.
2. A person does not have a substantial interest in a Business Entity if:
a. The person holds a position as a member of the board of directors or other
governing board of a Business Entity or governmental body; and
b. The person has been designated by the Town Council to serve on such
board; and
c. The person receives no remuneration, either directly or indirectly, for his or
her service on such board; and
d. The primary nature of the business entity is either, charitable, nonprofit or
governmental.
3. A person has a substantial interest in real property if the interest is an equitable
or legal ownership interest with a fair market value of $2,500.00 or more.
4. A person has a substantial interest under this Article if the person's Family
Member has a substantial interest under this Article.
N. Town Official. The Mayor, members of the Town Council, the Town Manager, the
Town Attorney, the Town Secretary, Judges of the Municipal Court, and individuals
acting in the capacity of the aforementioned persons.
17.04. STANDARDS OF CONDUCT
A. Prohibited Acts. No Town Official, Candidate, Appointee or Employee, or their
Family Member shall knowingly or intentionally:
1. Accept or solicit any gift, favor, service or thing of value from any person, group
or business entity, including a promise of future employment, that might
reasonably tend to influence him in the discharge of his official duties or that the
Town Official, Candidate, Appointee or Employee knows or should know is being
offered with the intent to influence the official conduct of the Town Official,
Candidate, Appointee or Employee. This prohibition shall not apply to:
a. An occasional non -pecuniary gift, insignificant in value; or
b. An award publicly presented in recognition of public service; or
c. Any gift which would have been offered or given to the Town Official,
Candidate, Appointee or Employee or a Family Member if he were not a
Town Official, Candidate, Appointee, Employee, or Family Member; or
ORD 2011-03 Page 6 of 19
d. Any travel and related expenses to attend ceremonial functions, provided that
such acceptance and attendance have been approved by the Town Council
prior to the occurrence of the ceremonial function.
2. Grant in the discharge of his official duties any improper favor, service or thing of
value to any person, group or business entity;
3. Disclose any confidential information gained by reason of the position of the
Town Official, Candidate, Appointee or Employee concerning property,
operations, policies or affairs of the Town, or use such confidential information to
advance any personal interest, financial or otherwise, of such Town Official,
Candidate, Appointee or Employee, Family Members or third parties. This
subparagraph shall not preclude disclosure of such confidential information in
connection with any investigation or proceeding regarding whether there has
been a violation of the standards of conduct set forth in this Article.
4. Use one's position or office of employment or Town facilities, personnel,
equipment or supplies to secure special privileges or exemptions for himself
Family Members or third parties or for the private gain of the Town Official,
Candidate, Appointee, Employee, or his Family Members or third parties.
5. Engage in any exchange, purchase or sale of property, goods or services with
the Town, except:
a. Rendering services to the Town as a Town Official, Candidate, Appointee or
Employee;
b. Paying taxes, fines, utility service or filing fees;
c. Executing and performing any developer's agreement or plat in compliance
with laws and regulations applicable to any person; provided, however, that if
any Town ordinance, rule or regulation allows any discretion by the
appropriate Town Official, Appointee or Employee in the interpretation or
enforcement of such ordinance, rule or regulation, any such discretion shall
be exercised in favor of the Town in connection with any such developer's
agreement or plat;
d. Appointees who are not also Town Officials or Employees of the Town, may
engage in any exchange, purchase or sale of property, goods or services with
the Town, or enter into a contract with the Town, provided that the board on
which they are a member has no advisory function. Involvement, or decision
making authority, either direct or indirect, present or prospective, with respect
to the transaction in which such Appointee engages or proposes to engage.
6. Hold himself out as representing the Town in any capacity other than that for
which he was appointed, elected or hired.
ORD 2011-03 Page 7 of 19
7. Engage in or accept private employment or render a service when such
employment or service is incompatible with the proper discharge of his official
duties or would tend to impair his independent judgment in the performance of
official duties.
8. Make or permit the unauthorized use of Town owned vehicles, equipment,
materials or property.
9. Grant any special consideration, treatment or advantage to any citizen beyond
that which is available to every other citizen.
10.After termination of service or employment with the Town, appear before any
board or commission of the Town in relation to any case, proceeding or
application in which he personally participated or which was under his active
consideration, during the period of his service or employment.
11.Transact any business in his official capacity with the Town with a Business
Entity in which he has a Substantial Interest.
12. Perform or refuse to perform any act in order to deliberately thwart the execution
of Town ordinances, rules or regulations or the achievement of official Town
programs.
17.05. DISCLOSURE OF INTEREST
A. Disclosure—Vote Not Allowed. Except as expressly provided in paragraph B of this
Section, if a Town Official, Candidate, Appointee or Employee has a Substantial
Interest in a Business Entity or real property involved in a matter pending before
such Town Official, Candidate, Appointee or Employee, or the body of which he is a
member, such Town Official, Candidate, Appointee or Employee shall disclose such
interest as provided in Section 17.05(C) below and shall not vote or discuss the
substance of the matter at any time with any other member of the board of which he
is a member or any other body which will vote on or otherwise participate in the
consideration of the matter.
B. Disclosure—Vote Allowed. If any of the following interests are involved in any
matter pending before any Town Official, Candidate, Appointee or Employee, or the
body of which he is a member, such Town Official, Candidate, Appointee or
Employee shall disclose such interest as provided in Section 17.05(C) below, but he
shall be permitted to vote on and participate in the consideration of such matter:
1. A matter concerning a bank or other financial institution from which the Town
Official, Candidate, Appointee or Employee has a home mortgage, automobile
loan, or other installment loan, if the loan is not currently in default, was originally
for a term of more than two (2) years and cannot be accelerated except for failure
to make payments according to the terms thereof:
ORD 2011-03 Page 8 of 19
2. A matter concerning a bank or other financial institution in which the Town
Official, Candidate, Appointee or Employee holds a savings account, checking
account or certificate of deposit and which is fully insured by the U. S.
government or an agency thereof;
3. A matter concerning a business entity with which the Town Official, Candidate,
Appointee or Employee has a retail or credit card account;
4. A matter concerning the approval of substitution of collateral by a Town
depository bank:
5. A matter concerning real property or a business entity in which the Town Official,
Candidate, Appointee or Employee has a Substantial Interest if the action on the
matter would not have a special economic effect on the value of the property or
business entity, distinguishable from the effect on the public.
C. Affidavit and Reporting Requirement. A Town Official, Appointee or Employee
shall disclose the existence of a Substantial Interest in a Business Entity or real
property involved in any matter pending before such Town Official, Appointee or
Employee, or the body of which he is a member or serves as the staff liaison. To
comply with Section 17.05(A), a Town Official, Appointee or Employee shall, prior to
any discussion or determination of the matter, file an affidavit of disclosure as
required by Section 171.004 of the Texas Local Government Code, as amended,
with the Town Secretary. To comply with Section 17.05 (B) a Town Official,
Employee or Appointee shall publicly disclose in the official minutes of the body the
nature of his interest. To comply with Section 17.05(B), an Employee shall notify
the Town Manager or his designee in writing of the nature of any Substantial Interest
that he or a Family Member has in a Business Entity or real property which would be
affected by an exercise of discretionary authority by the Employee and such matter
shall be regulated in accordance with Town policies and procedures.
17.06. ETHICS REVIEW COMMISSION
A. Commission Established. An Ethics Review Commission (Commission) is hereby
established to be composed of three (3) members and two (2) alternate members,
all of whom shall reside in the Town and shall be appointed by majority vote of the
Town Council.
B. Council Appointment. Each Commission member shall occupy a position on the
Commission, such positions being numbered 1 through 3.
C. Term of Office. The Commission members shall be appointed to three (3) year
staggered terms. Position 1 shall serve an implementation term which shall expire
on September 30 of 2012. Position 2 shall serve an implementation term which shall
expire on September 30 of 2013. Alternate members and Position 3shall serve as
alternates for an implementation term which shall expire on September 30 of 2014.
ORD 2011-03 Page 9 of 19
After each such implementation term expires, the term of office for each position
shall be three (3) years. No member shall serve for more than two (2) consecutive
full terms. Implementation terms shall not be counted as full terms.
D. Vacancies. All vacancies shall be filled for the unexpired term. A member shall hold
office until his successor has been appointed by the Town Council and shall
continue to hold office after his successor has been appointed by the Town Council
for the limited purpose of the disposition of all complaints filed during that member's
term. No new member may participate in a decision regarding a complaint filed prior
to the expiration of the previous member's term, but new members shall accomplish
the duties of office with respect to all complaints filed after the previous member's
term.
E. Chair and Vice -Chair. The Commission shall elect a chairman and a vice-chairman
to serve one (1) year terms. The vice-chairman shall act as chairman in the absence
of the chairman.
F. Quorum. Three (3) members of the Commission shall constitute a quorum, and no
action of the Commission shall be of any force or effect unless it is adopted by the
favorable vote of two (2) or more members.
G. Meetings. The Commission shall meet at least once a year to review this Article
and may make recommendations to the Town Council for amendments hereto.
H. Advisory Opinions. The Commission shall render advisory opinions on potential
conflicts of interest or violation of this Article at the request of a Town Official,
Candidate, Appointee or Employee subject to the terms of this Article. Such advisory
opinion shall be rendered within a reasonable time, but in no event later than thirty
(30) days after a request is received by the Commission. A copy of an advisory
opinion issued to an Employee shall be forwarded to the Town Manager. A copy of
an advisory opinion issued to an Appointee shall be forwarded to the Town Council.
I. Advisory Opinion — Defense. It shall be a defense to an alleged violation of this
Article that the person accused previously requested an advisory opinion of the
Commission and acted on such opinion in good faith, unless material facts were
omitted or misstated by the person requesting the opinion. Such advisory opinion
shall also be binding on the Commission in any subsequent charges concerning the
person requesting the opinion.
J. Legal Counsel. The Town Attorney or independent legal counsel shall be utilized to
advise the Commission and participate in hearings. The Town Council shall annually
designate and retain independent counsel who shall be a duly licensed attorney in
the State of Texas.
K. Jurisdiction. The Commission shall have jurisdiction to review and make findings
concerning an alleged violation of this Article by a person subject to its provisions, if
ORD 2011-03 Page 10 of 19
a written complaint meeting the requirements set forth herein is timely filed in
accordance with Section 17.07(C) of this Article.
17.07. DISPOSITION OF ALLEGED VIOLATIONS
A. Form and Content of Complaint. In order to file a complaint under this Article, a
complainant shall submit a written sworn complaint to the Town Secretary which
shall be notarized and shall be in the form specified below. A sworn complaint shall
be based upon personal knowledge, shall allege a violation (s) of this Article, shall
specify the provision(s) of this Article alleged to have been violated, and shall name
the Town Official, Candidate, Appointee, or Employee being charged.
THE STATE OF TEXAS:
COUNTY OF DENTON.
TO: THE ETHICS REVIEW COMMISSION
OF THE TOWN OF TROPHY CLUB, TEXAS:
COMES NOW (complainant), and makes this complaint, UPON HIS/HER
PERSONAL KNOWLEDGE AND UNDER OATH against (name of person
complained against), and would show the Commission that: On or about the
day of _,(insert date of the action, or omission,
complained of) , (name of
person complained against) a/an (insert appropriate designation; Town Official,
Candidate, Appointee, or Employee) of the Town of Trophy Club, Texas, violated the
following provision(s) of Code of Ethics and Conduct Ordinance, Town of Trophy
Club, Texas, to wit. (Specify by Section, Subsection and Paragraph number the
provision(s) alleged violated.) by committing the following act, or omission, to wit.-
By
it.
By the making and filing of this affidavit, I certify under oath that the statements
contained herein are true and correct.
(Original signature and executed Notary block must be included.)
B. Consideration of Complaints. Upon the filing of a written sworn complaint meeting
all requirements of Section 17.07 the Commission shall consider possible violations
of this Article by Town Officials, Candidates, Appointees and Employees.
C. Timely Filing Required. As a condition precedent to Commission consideration of
a complaint, such complaint shall be timely filed. A complaint alleging a violation of
this Article shall be filed with the Town Secretary within one (1) year after the date of
the alleged violation in order to be considered timely. Each of the following
complaints shall be deemed untimely filed and shall be returned to the complainant:
(1) a complaint alleging a violation that occurred before the effective date of this
Article, (2) a complaint alleging a violation that occurred more than one (1) year
ORD 2011-03 Page 11 of 19
before the date that the complaint is filed; and (3) a complaint filed within the period
beginning on the 60th day prior to the first date of early voting for a Town election
and ending on the later of the regular election date or runoff election date for such
election.
D. False Statements Notification. The Town Secretary shall, in writing, advise the
person filing a complaint that falsely accusing someone of a violation of this Article
may result in criminal prosecution, under penalty of perjury, of anyone who
knowingly makes a false accusation. The Town Secretary shall, in writing, advise
the person charged in the complaint that falsely responding to a complaint may
result in criminal prosecution, under penalty of perjury, of anyone who knowingly
makes a false response.
E. Processing of Complaint. Complaints shall be processed as follows:
1. Notification — Third Party. Not later than three (3) business days after the
Town Secretary receives a sworn complaint, the Town Secretary shall
acknowledge the receipt of the complaint to the complainant, and if the complaint
is timely filed, shall provide a copy of the complaint to the Town Attorney or
independent counsel and the person complained against. If a complaint is not
timely filed, it shall be returned to the complainant.
2 Attorney Preliminary Review. Within seven (7) business days of receipt by the
Town Attorney or independent counsel of a complaint determined by the Town
Secretary to have been timely filed, the Town Attorney or independent counsel,
shall review the complaint to determine whether the complaint is sufficient as to
form and whether the complaint alleges sufficient facts which if accepted as true
would constitute a prima facie violation of this Article. Further the complaint shall
be reviewed for compliance with Section 17.O7(L).
a. Sufficient Complaint. If the Town Attorney or independent counsel finds that
the complaint is both sufficient as to form, and accepting the facts alleged as
true for the limited purpose of a threshold review, finds that the allegations
would constitute a prima facie violation of this Article, the complaint shall be
forwarded to the Commission.
b. Insufficient or Ineligible Complaint. If the Town Attorney or independent
counsel finds that the complaint is either insufficient as to form, or accepting
the facts alleged as true for the limited purpose of a threshold review, finds
that the allegations would not constitute a prima facie violation of this Article,
the Town Attorney or independent counsel shall notify the Town Council, the
Commission, the complainant and the person complained against of this
determination, and shall return the complaint to the complainant. Further, if
the Town Attorney or independent counsel determines that the Commission is
prohibited from entertaining a complaint under the conditions set forth in
Section 17.07 (L), the Town Attorney or independent counsel shall notify the
ORD 2011-03 Page 12 of 19
Town Council, the Commission, the complainant and the person complained
against of this determination, and shall immediately return the complaint to
the complainant.
3. Complaints Forwarded to the Commission. Not later than ten (10) business
days after the Commission receives a complaint forwarded by the Town Attorney
or independent counsel, the Commission shall notify in writing both the person
who made the complaint and the person complained against of a date for a
preliminary hearing. If the Commission does not hold a preliminary hearing within
twenty (20) business days of its receipt of the complaint, it shall notify the person
who made the complaint and the person complained against of the reasons for
the delay and shall subsequently give the appropriate notifications to all parties.
F. Complaint Filed by Commissioner. A complaint filed by an individual member of
the Commission shall be deemed to have been filed in the Commission member's
capacity as a private citizen and, in such event, the member of the Commission filing
the complaint shall not thereafter participate in any Commission meeting at which
such complaint is considered except as the complainant.
G. Communications of Commission Members. After a complaint has been filed and
during the pendency of a complaint before the Commission, a member of the
Commission may not communicate directly or indirectly with any party or person
about any issue of fact or law regarding the complaint, except at a meeting of the
Commission; provided that a member may consult with the attorney or the Town
Manager or his designee for the Commission as to process, procedure and legal
issues. Ex parte communications by or to members of the Commission are
prohibited.
H. Disclosure of Information Prohibited. No Town Official, Candidate, Appointee, or
Employee shall reveal information relating to the filing or processing of a complaint,
except as required for the performance of official duties or as required by law. All
papers and communications relating to a complaint shall be treated as confidential
unless required to be made public under the Public Information Act, court order, or
other applicable law.
I. Preliminary Hearing. A preliminary hearing shall be conducted in accordance with
the following:
1. As soon as reasonably possible, but in no event more than sixty (60) days after
receiving a complaint, the Commission shall conduct a preliminary hearing. The
issue at a preliminary hearing shall be the existence of reasonable grounds to
believe that a violation of this Article has occurred. The person filing a complaint
shall state the alleged violation and shall describe in narrative form the testimony
and other evidence which would be presented to prove the alleged violation as
stated in the written complaint. Statements at a preliminary hearing shall be
under oath, but there shall be no cross examination or requests for persons or
ORD 2011-03 Page 13 of 19
evidence issued for the hearing. Members of the Commission may question the
complainant, the independent counsel for the Commission, or the Town Official,
Candidate, Appointee or Employee named in the complaint. The Town Official,
Candidate, Appointee or Employee named in the complaint may not be
compelled to give evidence or testimony that violates his right against self-
incrimination under the United States or the Texas Constitution.
2. The Town Official, Candidate, Appointee or Employee named in the complaint
shall have the opportunity to respond, but is not required to attend or make any
statement. The Town Official, Candidate, Appointee or Employee may describe
in narrative form the testimony and other evidence which would be presented to
disprove the alleged violation.
3. The complainant and the Town Official, Candidate, Appointee or Employee
named in the complaint shall have the right of representation by counsel paid for
at his own expense.
4. At the conclusion of the preliminary hearing, the Commission shall decide
whether a final hearing should be held. If the Commission determines that there
are reasonable grounds to believe that a violation of this Article has occurred, it
shall schedule a final hearing. If the Commission does not determine that there
are reasonable grounds to believe that a violation of this Article has occurred, the
complaint shall be automatically dismissed. A decision to conduct a final hearing
is not a finding that a violation has occurred. Notwithstanding the foregoing, the
Commission may proceed to determine the appropriate sanction if the charged
Town Official, Candidate, Appointee, or Employee does not object and admits
the charged violation, and the Commission determines that there are no fact
issues to be resolved.
5. At the preliminary hearing or at least fifteen (15) business days prior to the final
hearing, the complainant, the Town Official, Candidate, Appointee or Employee
named in the complaint may request that the Commission summon certain
persons and evidence for a final hearing, if one is scheduled.
J. Final Hearing. A final hearing shall be conducted in accordance with the following:
1. The final hearing shall be held as expeditiously as possible following the
preliminary hearing at which a determination was made by the Commission that
there are reasonable grounds to believe that a violation of this Article occurred,
but in no event shall it be held more than thirty (30) days after such
determination. The Commission may grant two (2) postponements of the Final
Hearing, not to exceed fifteen (15) days each, upon the request of the Town
Official, Candidate, Appointee or Employee named in the complaint.
2. The issue at a final hearing shall be whether a violation of this Article has
occurred. The Commission shall make its determination based on a Clear and
ORD 2011-03 Page 14 of 19
Convincing Evidence standard of proof. Parties to the proceeding may present
testimony and evidence at the final hearing. All witnesses shall make their
statements under oath. If the Commission determines that a violation has
occurred, it shall state its findings in writing, shall identify the particular
provision(s) of this Article which have been violated, and within five (5) business
days shall deliver a copy of its findings to the complainant, if any, the person
named in the complaint and the Town Secretary.
3. If a complaint proceeds to a final hearing, the Commission shall summon in
writing witnesses for which it has received a written request from the complainant
or from the Town Official, Candidate, Appointee or Employee named in the
complaint provided that the requesting parry shows good cause for the request
and the request is timely submitted in accordance with Section 17.07(1)(6). Such
written summons shall be served by a constable at least ten (10) days before the
date of the final hearing. Additionally, the Commission may administer oaths
and affirmations and receive testimony and evidence presented at the final
hearing. It shall be a violation of this Article for a person to fail to appear and
testify before the Commission in response to a written summons served ten (10)
days or more prior to the scheduled time and date of final hearing.
Notwithstanding the foregoing, no Town official, candidate, appointee or
employee named in a complaint or witness may be compelled to give evidence or
testimony that violates his/her right against self-incrimination under the United
States or the Texas Constitution.
K. Sanctions. The following sanctions are available:
1. If the Commission determines that a violation of this Article has occurred, it shall
proceed directly to determination of the appropriate sanction(s). A violation of this
Article shall not be subject to criminal penalties under the Town Code of
Ordinances, except for those instances specifically provided for in Section 17.11
of this Article. The Commission may receive additional testimony or statements
before determining sanctions, but is not required to do so. If the Town Official,
Candidate, Appointee or Employee named in the complaint acted in reliance
upon a written opinion of the Town Attorney, the Commission shall consider that
fact.
2. If the Commission determines that a violation of this Article has occurred, it shall
take the following actions:
a. If the person who committed the violation is a current employee under the
jurisdiction of the Town Manager, the matter shall be referred to the Town
Manager.
b. If the person who committed the violation is the Town Manager, Town
Attorney, Town Secretary, or a Judge of the Municipal Court, the matter will
be referred to the Town Council.
ORD 2011-03 Page 15 of 19
c. If the person who committed the violation is a Town Council member, a
Candidate, an Appointee, a former Town official, or a former Town employee,
the matter will be referred to the Town Council.
3. When referring a matter under Section 17.07(K)(2), the Commission may impose
or recommend the following sanctions:
a. Letter of notification. A letter of notification may be recommended when the
Commission finds that a violation of this Article was clearly unintentional or
when the action or conduct found to have been a violation of this Article was
performed by the Town Official, Candidate, Appointee, or Employee in
reliance on a public written opinion of the Town Attorney. A letter of
notification must advise the Town Official, Candidate, Appointee, or Employee
to whom the letter is directed of any steps to be taken to avoid future
violations.
b. Letter of admonition. A letter of admonition may be recommended when the
Commission finds that the violation of this Article was minor and/or may have
been unintentional, but where the circumstances call for a more substantial
response than a letter of notification.
c. Reprimand. A reprimand may be recommended when the Commission finds
that a violation of this Article was committed intentionally or through disregard
of this Article. A recommended reprimand directed to an Employee shall be
forwarded to the Town Manager. The Town Manager may also elect to
discipline the Employee in accordance with Town personnel rules and
procedures. A letter of reprimand directed to an elected Town Official shall
also be transmitted to the Town Secretary and published in the official
newspaper of the Town.
d. Removal or suspension from employment. A recommendation of removal
from employment or a recommendation of suspension from employment, as
well as a recommendation for length of suspension, shall be the appropriate
sanction when the Commission finds that a serious or repeated violation(s) of
this Article has been committed intentionally or through culpable disregard of
this Article by Town employees. The final discretion to carry out such
recommendations to remove or suspend from employment and the length of
suspension shall be with the Town Manager. The Town Manager may also
elect to discipline the employee in accordance with Town policies and
procedures.
e. Censure, recall or removal from office or appointment. A letter of censure, a
recommendation of recall, or a recommendation to institute proceedings for
removal from office or appointment, shall be the appropriate sanction when
the Commission finds that a serious or repeated violation(s) of this Article has
been committed intentionally or through culpable disregard of this Article by
ORD 2011-03 Page 16 of 19
an elected Town Official. A letter of censure, a recommendation of recall, or a
recommendation to institute proceedings for removal from office, directed to
an elected Town Official shall also be transmitted to the Town Secretary and
published in the official newspaper of the Town. The Town Council and
citizens of the Town may take actions in accordance with the Town Charter.
Any proceedings for removal from office shall be in compliance with
provisions of the Town Charter and State law.
L. Dismissal. If the complaint is dismissed because the evidence failed to establish a
violation of this Article, the Commission shall issue a letter of dismissal or finding,
and shall not entertain any other similar complaint based on substantially the same
evidence.
17.08. REQUEST FOR REVIEW
Any Town Official, Candidate, Appointee or Employee against whom public allegations
of ethics violations have been made in the media or elsewhere has the right to file a
sworn statement with the Town Secretary affirming their innocence, and to request the
Commission to review the allegations and make known its findings.
17.09. CULPABLE MENTAL STATE
To commit a violation under any provision of this Article, a person must have acted or
failed to act knowingly or intentionally.
17.10. FALSE COMPLAINTS
In the event a complaint is received by the Commission that is subsequently found to be
baseless, and the Commission deems that the complaint was filed with the intent to:
(a) harass the person named in the complaint; or
(b) damage a person's reputation; or
(c) benefit the person filing the complaint, or a third party, either personally,
professionally or politically; or
(d) damage a related third party;
the Commission may recommend the Town Attorney cause a complaint to be filed
against such person in the Municipal Court. The Town Council or Town Manager, as
appropriate, may take disciplinary action(s) against the individual who filed the
complaint, including but not limited to disciplinary action if such complainant is an
Employee, Appointee, or Town Official as allowed by personnel policies, ordinance,
state law or Town Charter. The Commission may also recommend other action(s) be
taken.
ORD 2011-03 Page 17 of 19
17.11. PENALTY
A. It shall be unlawful and shall be a Class "C" Misdemeanor for any person to
knowingly or intentionally violate Section 17.07(D), 17.07(J)(3), or Section 17.10 of
this Article, and any person found guilty of such violation shall be fined, upon
conviction, not less than One Dollar ($1.00) nor more than Two Thousand Dollars
($2,000.00) for each offense. Such penalty shall be in addition to all the other
remedies provided herein.
B. A person who knowingly files a false sworn statement under this Article may be
subject to criminal prosecution for perjury under the laws of the State of Texas."
SECTION 3.
CUMULATIVE REPEALER
The Code of Ordinances of the Town is hereby amended to include the terms
and provisions of this Ordinance by adding Article XVII entitled "Ethics" to the existing
Chapter 1, entitled "Administration" of the Code of Ordinances of the Town of Trophy
Club. This Ordinance shall be cumulative of all other Ordinances of the Town affecting
ethics and conflict of interest and shall not repeal any of the provisions of such
Ordinances except in those instances where provisions of those Ordinances are in
direct conflict with the provisions of this Ordinance; whether such Ordinances are
codified or uncodified, and all other provisions of the Ordinances of the Town of Trophy
Club, codified or uncodified, not in conflict with the provisions of this Ordinance, shall
remain in full force and effect. Notwithstanding the foregoing, any complaint, action,
cause of action or claim which prior to the effective date of this Ordinance has been filed
or has arisen under or pursuant to such repealed Ordinance(s) shall continue to be
governed by the provisions of that Ordinance and for that purpose the Ordinance shall
be deemed to remain and continue in full force and effect.
SECTION 4.
SEVERABILITY
If any section, article, paragraph, sentence, clause, phrase or word in this
Ordinance, or its application to any person or circumstance is held invalid or
unconstitutional by a Court of competent jurisdiction, such holding shall not affect the
validity of the remaining portions of this Ordinance; and the Town Council hereby
declares it would have passed such remaining portions of the Ordinance despite such
invalidity, which remaining portions shall remain in full force and effect.
SECTION 5.
PUBLICATION
The Town Secretary of the Town of Trophy Club is hereby directed to publish,
the Caption, Penalty and Effective Date of this Ordinance as required by Section 52.011
of the Texas Local Government Code.
ORD 2011-03 Page 18 of 19
SECTION 6.
ENGROSSMENT AND ENROLLMENT
The Town Secretary of the Town of Trophy Club is hereby directed to engross
and enroll this Ordinance in the Ordinance records of the Town and to properly record
this Ordinance in accordance with the Town Charter.
Section 7.
EFFECTIVE DATE
This Ordinance shall take effect on April 29, 2011, and it is accordingly so
ordained.
PASSED AND APPROVED by the Town Council of the Town of Trophy Club,
Texas, this 7th day of February, 2011.
Mayor Connie White
Town of Trophy Club, Texas
ATTEST:
t'I%1�v�v��m l it/�afen �
Shannon DePr4er, Town Secretary
Town of Trophy Club, Texas
[SEAL] VARY
APPROVED AS TO FORM:
-ho ft
Patricia A. Adams, own Attorney
Town of Trophy Club, Texas
ORD 2011-03 Page 19 of 19